AG
Andrew Galano
MIZUHO SECURITIES USA
NEW YORK, NY 10020
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CRD#: 4726097
AG
Professional summary
Andrew Galano, who also goes by Andres M Galano, Andrew M Galano, is a registered financial professional currently at MIZUHO SECURITIES USA LLC located in New York, New York.
Andrew is registered as a RR (Registered Representative) and started their career in finance in 2004. Andrew has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Andres M Galano | Andrew M Galano
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Andrew Galano's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 28, 2023 - Present
MIZUHO SECURITIES USA LLC
Office #1: 1271 Avenue Of The Americas, New York, NY 10020BD
CRD#: 19647
NEW YORK, NY
Past
April 8, 2019 - September 15, 2023
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
Past
September 29, 2017 - April 10, 2019
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
NEW YORK, NY
Past
November 28, 2016 - May 5, 2017
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
NEW YORK, NY
Past
September 9, 2011 - December 26, 2017
MORGAN STANLEY
RIA
CRD#: 149777
NEW YORK, NY
Past
February 4, 2011 - December 26, 2017
MORGAN STANLEY
BD
CRD#: 149777
NEW YORK, NY
Past
June 17, 2009 - February 7, 2013
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
NEW YORK, NY
Past
June 1, 2009 - June 26, 2009
MORGAN STANLEY
BD
CRD#: 149777
NEW YORK, NY
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
NEW YORK, NY
Past
May 17, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
NEW YORK, NY
Past
March 28, 2005 - March 24, 2006
TULLETT PREBON FINANCIAL SERVICES LLC
BD
CRD#: 28196
NEW YORK, NY
Past
October 22, 2004 - March 24, 2005
CHAPDELAINE TULLETT PREBON, LLC
BD
CRD#: 7017
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(8/28/2023)
RR
Alaska(8/28/2023)
RR
Arizona(8/28/2023)
RR
Arkansas(8/28/2023)
RR
California(8/28/2023)
RR
Colorado(8/28/2023)
RR
Connecticut(8/28/2023)
RR
Delaware(8/28/2023)
RR
District of Columbia(8/28/2023)
RR
Florida(8/28/2023)
RR
Georgia(8/28/2023)
RR
Hawaii(8/28/2023)
RR
Idaho(8/28/2023)
RR
Illinois(8/28/2023)
RR
Indiana(8/28/2023)
RR
Iowa(8/28/2023)
RR
Kansas(8/28/2023)
RR
Kentucky(8/28/2023)
RR
Louisiana(8/28/2023)
RR
Maine(8/28/2023)
RR
Maryland(8/28/2023)
RR
Massachusetts(8/28/2023)
RR
Michigan(8/28/2023)
RR
Minnesota(8/28/2023)
RR
Mississippi(8/28/2023)
RR
Missouri(8/28/2023)
RR
Montana(8/29/2023)
RR
Nebraska(8/28/2023)
RR
Nevada(8/28/2023)
RR
New Hampshire(8/28/2023)
RR
New Jersey(8/28/2023)
RR
New Mexico(8/28/2023)
RR
New York(8/28/2023)
RR
North Carolina(8/28/2023)
RR
North Dakota(8/28/2023)
RR
Ohio(8/28/2023)
RR
Oklahoma(8/28/2023)
RR
Oregon(8/28/2023)
RR
Pennsylvania(8/28/2023)
RR
Puerto Rico(8/28/2023)
RR
Rhode Island(8/28/2023)
RR
South Carolina(8/28/2023)
RR
South Dakota(8/28/2023)
RR
Tennessee(8/28/2023)
RR
Texas(8/28/2023)
RR
Utah(8/28/2023)
RR
Vermont(8/28/2023)
RR
Virginia(8/28/2023)
RR
Washington(8/28/2023)
RR
West Virginia(8/28/2023)
RR
Wisconsin(8/28/2023)
RR
Wyoming(8/28/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
MS
MIZUHO SECURITIES USA LLC
FUJI SECURITIES INC. | MIZUHO SECURITIES USA LLC | MIZUHO SECURITIES USA INC. | KLEINWORT BENSON GOVERNMENT SECURITIES, INC.
CRD#: 19647 / SEC#: , 8-37710
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1271 Avenue Of The Americas, New York, NY 10020
Mailing Address
1271 Avenue Of The Americas, New York, NY 10020
Phone number
(212) 209-9300
Established
Delaware since 04/08/1994
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Large
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MIZUHO AMERICAS LLC | DIRECT OWNER | |
| BUCHANAN, JOHN ROBERT | MANAGING DIRECTOR/CHIEF OPERATING OFFICER | 1765774 |
| BUSQUET, JACQUES JEAN | DIRECTOR | 3227628 |
| CALLAN MONTELLA, ERIN MARIE | DIRECTOR | 2938656 |
| CONSIDINE, JILL MARIE | DIRECTOR | 5948267 |
| DALY, BRENDAN GERARD | CHIEF COMPLIANCE OFFICER | 1823142 |
| HARTNETT, THOMAS WALTER TIMOTHY | MANAGING DIRECTOR & HEAD OF SALES & TRADING | 3278880 |
| HERRLE, LOUISE MARY | DIRECTOR | 5868706 |
| HOPKINS, ADAM RICHARD | MANAGING DIRECTOR & GENERAL COUNSEL | 5512590 |
| KATZ, MICHAL NMI | MANAGING DIRECTOR & HEAD OF INVESTMENT BANKING | 2813944 |
| KUROSAWA, TATSUYA NMI | DIRECTOR | 8100550 |
| MARTINO, MICHAEL BENEDICT | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 4420944 |
| MATSUURA, SHUJI NMI | DIRECTOR & CHAIRMAN | 7375457 |
| MURPHY, JOHN MAC | MANAGING DIRECTOR & HEAD OF FUTURES DIVISION | 1488471 |
| PASQUILL, DARLENE NMI | MANAGING DIRECTOR & HEAD OF EQUITY | 2505982 |
| RIZZIERI, GERALD ANTHONY | PRESIDENT & CHIEF EXECUTIVE OFFICER/DIRECTOR | 1751181 |
| SHIRAISHI, SHIRO NMI | DIRECTOR | 8100597 |
| SKOLLER, RICHARD MARK | SECRETARY | 6663407 |
| TATE, SEIJI NMI | DIRECTOR | 8077227 |
| WONG, DAVID TAI WAI | MANAGING DIRECTOR/CHIEF FINANCIAL OFFICER/FINOP/PRINCIPAL FINANCIAL OFFICER | 4245078 |
| YONEZAWA, TAKEFUMI NMI | DIRECTOR | 8100586 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
